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Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Market timing

From the firm’s Form ADV. Read the guides:

Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-10-05
  • CT RA
    APPROVED
    Since 2023-10-05

Branch Locations

Woodbury, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research, Inc Fairfield IA 07/2010 Present
Cambridge Investment Research Advisors, Inc Fairfield IA 07/2010 Present
Previous Registrations
Other Businesses

1) MARGARET S. ARNDT, 104 Cowles Road, Woodbury CT 06798, United States, 05/01/1982, Agent, Insurance/Benefits/Human Resources, INV REL, 40 HR/MO - 16 HR/MO TRADING 2) EVERYDAY HEALTH, 104 Cowles Road, Woodbury CT 06798, United States 01/01/02, Assistant/Collaborator, Food/Beverage Services, NIR, 4 HR/MO - 0 HR/MO TRADING 3) CROW'S NEST, 99 104 Cowles Road, Woodbury CT 06798, United States 07/01/02, Owner, Owner/Partner of a Business Entity, NIR, 10 HR/MO - 7 HR/MO TRADING 4) SAGE CONSULTING, INC.104 Cowles Road, Woodbury CT 06798, United States, 2/15/2012, Founder, Consulting/Coaching, 8 HR/MO - 4 HR/MO TRADING 5) CONSCIOUS EVOLUTION BOSTON, 104 Cowles Road, Woodbury CT 06798, United States. 10/01/2012, Founder, Author/Educator/Podcast/Speaker, NIR, 4 HR/MO - 4 HR/MO TRADING 6) JUST ABUNDANCE, 32 EAST STREET, PETERSHAM, MA, 01/2014. MEMBER/SCRIBE & WEB MASTER, TAKE NOTES AND FOLLOW UP ON ASSIGNED TASKS AND ASSISTANT TO THE WEBSITES. NIR/ 40HR/MO-8HR/MO TRADING. 7) REAL ESTATE REFERRAL, NEWTON, MA, 01/2019. NIR-1/MO-0/TRADING. 8) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/23/2010

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-01-12
S63 Uniform Securities Agent State Law Examination 1986-02-14
  • S65 Uniform Investment Adviser Law Examination
    2009-01-12
  • S63 Uniform Securities Agent State Law Examination
    1986-02-14

View on SEC IAPD

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